BENJAMIN FRANKLIN LEAR is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 301 GRANT ST STE 3600, ONE OXFORD CENTRE, PITTSBURGH, PA, 15219.
BENJAMIN FRANKLIN LEAR has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
BENJAMIN FRANKLIN LEAR has 3 Disclosure Event(s).
Date: July 23, 2009 Category: Customer Dispute Allegations: THE CLIENT STATES THAT HE WAS SUPPOSED TO BE INVESTING IN SECURITIES THAT WOULD ALLOW HIM TO MAKE DISBURSEMENTS - BUT WOULD NOT AFFECT THE OVERALL PRINCIPLE. (08/01/2006 - 08/17/2009) Broker Comment: THIS CLIENT COMPLAINT WAS OPENED AS A RESULT OF A CLIENT SATISFACTION SURVEY THAT WAS SOLICITED BY THE FIRM.THE CLIENT'S INVESTMENT OBJECTIVE IS NOTED AS "CONSERVATIVE GROWTH & INCOME." THE INVESTMENTS IN THE ACCOUNT CONSISTED OF 85% FIXED INCOME SECURITIES AND 15% GROWTH MUTUAL FUNDS (PROGRAM MANAGED BY THE FIRM). THE PRINCIPLE BALANCES HAVE FLUCTUATED LESS THAN MARKET ACTIVITY.
Date: August 24, 1982 Category: Regulatory Initiated By: PENNSYLVANIA Resolution: Decision SanctionDetails: Sanctions: Bar Broker Comment: PENNSYLVANIA 60 DAY BAR
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